Name of auditor affiliated with audit firm  Financial statements audit  Financial statements / information review  1. Unmodified opinion  2. Qualified opinion due to (can choose more than one): ฆ 2.1

customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or

Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand JANUARY 2013 Report on the Observance of Standards and Codes (ROSC) CORPORATE GOVERNANCE COUNTRY ASSESSMENT Thailand January 2013 Acknowledgements This assessment of corporate governance in Thailand has been prepared by David Robinett, Ratchada Anantavrasilpa, and Catherine Hickey of the World Bank Global Capital Markets Practice, as part of the Reports on Observance of Standards and Codes Pro...

a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts or damage on investors or the

a clear exit strategy in case of leaving the regulatory sandbox upon or before expiration. (3) specifying a specific scope of services to alleviate material impacts or damage on investors or the

or damage on investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of

or damage on investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of

by any persons who do not have the authority or relevant responsibilities and such use causes damage, we shall assume the responsibility towards the incurred damage in all aspects. 4 We hereby

of the use of securities business for money laundering and financing of terrorism that could damage the reputation of intermediaries. Regarding the Know-Your-Client/Client Due Diligence (KYC/CDD

of the use of securities business for money laundering and financing of terrorism that could damage the reputation of intermediaries. Regarding the Know-Your-Client/Client Due Diligence (KYC/CDD